DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

A••••• D••••••

W•••• F•••• A•••••••wirehouseHolbrook, Ny dual registrantIAPD 2949179

Feed of 09/15/2026

Also filed as A••••• D••••••

At current firm

1 y

since Sep 11, 2025

In the industry

28 y

since Oct 17, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since Sep 11, 2025 · Holbrook, Ny
C•••••••• G••••• M•••••• I••• BD affiliated
Feb 23, 2016 to Sep 22, 2025 · Westlake Village, Ca
L•• F•••••••• L•• BD affiliated
Aug 2, 2012 to Feb 19, 2016 · Stony Brook, Ny
H••• S••••••••• •••• I••• BD affiliated
Dec 8, 2008 to Oct 29, 2010 · Smithtown, Ny
C•••••• O•• F•••••••• A••••••• L•• unclassified
Jul 13, 2004 to Nov 18, 2008 · Melville, Ny

Moves

a registration end followed by a registration begin elsewhere

C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••
left Sep 22, 2025, registered Sep 11, 2025 (-11 days) · Affiliated broker-dealer or bank to wirehouse
L•• F•••••••• L•• to C•••••••• G••••• M•••••• I•••
left Feb 19, 2016, registered Feb 23, 2016 (4 days) · Other
H••• S••••••••• •••• I••• to L•• F•••••••• L••
left Oct 29, 2010, registered Aug 2, 2012 (643 days) · Other
C•••••• O•• F•••••••• A••••••• L•• to H••• S••••••••• •••• I•••
left Nov 18, 2008, registered Dec 8, 2008 (20 days) · Other

Signals

A••••• D•••••• left C•••••••• G••••• M•••••• I••• for W•••• F•••• A••••••• (registered 2025-09-11)
Sep 22, 2025 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Wirehousederived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address